except such license specified under the Notification of the Securities and Exchange Commission concerning Rules, Conditions and Procedures for Application of Licenses and Granting of Licenses for Operating
services except such license specified under the Notification of the Securities and Exchange Commission concerning Rules, Conditions and Procedures for Application of Licenses and Granting of Licenses for
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in
assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
derivatives business in such foreign country, whose rules for approval and supervision of derivatives business undertaking are not less strict than those prescribed under the Derivatives Act B.E. 2546 (2003
such foreign country, whose rules for approval and supervision of derivatives business undertaking are not less strict than those prescribed under the Derivatives Act B.E. 2546 (2003) including any
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3